DRJ Fall 2019

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Summer Journal

Volume 32, Issue 2

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Friday, 01 March 2019 14:01

FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information

Summary FINRA is conducting a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information), FINRA’s emergency preparedness rule, to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.

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http://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-19-06.pdf